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Sydney Metro Unexpected

Heritage Finds Procedure [SM-18-00105232]

Sydney Metro Integrated Management System (IMS)

Applicable to: Sydney Metro

Document Owner: Author/Document owner

System Owner: IMS element owner (generally a member of the Executive)

Status: Draft/Final

Version: 2.0

Date of issue: 19 March 2019

Review date: 22 March 2020

© Sydney Metro 2018

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Sydney Metro – Integrated Management System (IMS)

(Uncontrolled when printed)

© Sydney Metro 2018 Unclassified of 34

Sydney Metro Unexpected Finds Procedure V2.0

Table of contents

1. Purpose ................................................................................................................... 3

1.1. Legislation that does not apply .................................................................... 3

2. Scope ....................................................................................................................... 4

3. Definitions ............................................................................................................... 4

4. Types of unexpected heritage items and corresponding statutory protections 5

4.1. Aboriginal objects ........................................................................................ 5

4.2. Historic heritage items ................................................................................. 6

4.2.1. Archaeological relics ................................................................... 6

4.2.2. Other historic items ..................................................................... 6

4.3. Human skeletal remains .............................................................................. 7

5. Legislative Requirements ...................................................................................... 7

6. Unexpected heritage finds protocol ...................................................................... 9

6.1. What is an unexpected heritage find? ......................................................... 9

6.2. Managing unexpected heritage finds ......................................................... 10

7. Responsibilities .................................................................................................... 15

8. Seeking Advice ..................................................................................................... 16

9. Related documents and references ..................................................................... 16

10. List of appendices ................................................................................................ 16

11. Document history ................................................................................................. 17

Appendix 1: Examples of finds encountered during construction works ...................... 18

Appendix 2 - Unexpected heritage item recording form .................................................. 24

Appendix 3 - Photographing unexpected heritage items ................................................ 26

Appendix 4 - Uncovering bones ........................................................................................ 29

1. First uncovering bones ........................................................................................ 29

2. Range of human skeletal notification pathways................................................... 30

3. Additional considerations and requirements ........................................................ 31

Appendix 5 - Archaeological/heritage advice checklist ................................................... 33

Appendix 6 - Template notification letter .......................................................................... 34

Figures

Figure 1 Overview of steps to be undertaken on the discovery of an unexpected heritage item ......................................................................................................................................10

Tables

Table 1 Legislation and guidelines for management of unexpected heritage finds ................. 8 Table 2 Specific tasks to be implemented following the discovery of an unexpected heritage item ......................................................................................................................................10 Table 3 Roles and Responsibilities .......................................................................................15

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1. Purpose

This procedure is applicable to the Sydney Metro program of works including major projects delivered under Critical State Significant Infrastructure Planning Approvals (CSSI), early CSSI minor and enabling works and works that are subject to the NSW Heritage Act (1977) including s57/139 and s60/140 exemptions and permit approvals.

This procedure has been prepared for Sydney Metro programs to provide a method for managing unexpected heritage items (both Aboriginal and non-Aboriginal) that are discovered during preconstruction (pre-Construction Heritage Manage Plan approval), construction phases (post Construction Heritage Manage Plan approval) and for works subject to the NSW Heritage Act (1977).

An ‘unexpected heritage find’ can be defined as any unanticipated archaeological discovery, that has not been previously assessed or is not covered by an existing approval under the Heritage Act 1977 (Heritage Act) or National Parks and Wildlife Act 1974 (NPW Act).

In NSW, there are strict laws to protect and manage heritage objects and relics. As a result, appropriate heritage management measures need to be implemented to minimise impacts on heritage values; ensure compliance with relevant heritage notification and other obligations; and to minimise the risk of penalties to individuals, Sydney Metro and its contractors. This procedure includes Sydney Metro’s heritage notification obligations under the Heritage Act, NPW Act and the Coroner’s Act 2009 and the requirements of the conditions of approval(CoA) issued by NSW Department of Planning and Environment. Note that a Contractor must not amend the Sydney Metro Unexpected Finds Procedure without the prior approval of Sydney Metro.

It should be noted that this procedure must be read in conjunction with the relevant CCSI conditionals of approval (if applicable), the contract documents and other plans including the Sydney Metro Exhumation Management Plan and procedures developed by the contractor during the delivery of the Sydney Metro works.

1.1. Legislation that does not apply

The following authorisations are not required for Sydney Metro approved Critical State Significant Infrastructure (and accordingly the provisions of any Act that prohibits an activity without such an authority do not apply):

Division 8 of Part 6 of the Heritage Act 1977 does not apply to prevent or interfere with the carrying out of approved State significant infrastructure.

An approval under Part 4, or an excavation permit under section 139, of the Heritage Act 1977,

An Aboriginal heritage impact permit under section 90 of the National Parks and Wildlife Act 1974,

This document provides relevant background information in Section 4, followed by the technical procedure in Sections 6 and 7. Associated guidance referred to in the procedure can be found in Appendices 1-6.

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2. Scope

Despite earlier investigation, unexpected heritage items may still be discovered during works on a Sydney Metro site. When this happens, this procedure must be followed. This procedure provides direction on when to stop work, where to seek technical advice and how to notify the regulator, if required. This procedure applies to:

the discovery of any unexpected heritage item, relic or object, where the find is not anticipated in an approved Archaeological Assessment Design Report (AARD) or Archaeological Method Statements (AMS) that are prepared as part of the planning approval for that project.

This procedure must be followed by all Sydney Metro staff, contractors, subcontractors or any person undertaking works for Sydney Metro. It includes references to some of the relevant legislative and regulatory requirements, but is not intended to replace them. This procedure does not apply to:

The discovery and disturbance of heritage items as a result of investigations being undertaken in accordance with the Office of Environment and Heritage’s (OEH) Code of Practice for Archaeological Investigations of Aboriginal Objects in NSW 20101; an Aboriginal Heritage Impact Permit (AHIP) issued under the NPW Act; or a permit approval issued under the Heritage Act.

the discovery and disturbance of heritage items as a result of construction related activities, where the disturbance is permissible in accordance with an AHIP; or an approval issued under the Heritage Act or CSSI /CSSD planning approval;

3. Definitions

All terminology in this procedure is taken to mean the generally accepted or dictionary definition with the exception of the following terms which have a specifically defined meaning:

Definitions

AHIP Aboriginal Heritage Impact Permit

Aboriginal object An Aboriginal object is any deposit, object or material evidence (not being a handicraft made for sale) relating to the Aboriginal habitation of the area, being habitation before or concurrent with (or both) the occupation of that area by persons of non-Aboriginal extraction, and includes Aboriginal remains. An Aboriginal object may include a shell midden, stone tools, bones, rock art, Aboriginal-built fences and stockyards, scarred trees and the remains of fringe camps.

CEMP Construction Environmental Management Plan

CoA Conditions of Approval

CSSD Critical State Significant Development

CSSI Critical State Significant Infrastructure

EP&A Act NSW Environmental Planning and Assessment Act 1979

Excavation A person that complies with the Heritage Council of NSW’s Criteria for Assessment of

1 An act carried out in accordance with the Code of Practice for Archaeological Investigation of Aboriginal Objects

in NSW as published by the Department in the Gazette on 24 September 2010 is excluded from the definition of harm an object or place in section 5 (1) of the NPW Act.

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Director Excavation Directors (July 2011) to oversee and advise on matters associated with historic archaeology. Note this applies to a specific project/program and requires consultation and/or approval by OEH.

Heritage Act NSW Heritage Act 1977

NPW Act NSW National Parks and Wildlife Act 1974

OEH Office of Environment and Heritage

SM Sydney Metro

Relic (non-Aboriginal heritage)

A relic means any deposit, artefact, object or material evidence that:

a) relates to the settlement of the area that comprises NSW, not being Aboriginal settlement, and

b) is of State or local significance.

A relic may include items such as bottles, utensils, remnants of clothing, crockery,

personal effects, tools, machinery and domestic or industrial refuse.

TfNSW Transport for New South Wales

Work (non-Aboriginal heritage)

Archaeological features such as historic utilities or buried infrastructure that provide evidence of prior occupations such as former rail or tram tracks, timber sleepers, kerbing, historic road pavement, fences, culverts, historic pavement, buried retaining walls, cisterns, conduits, sheds or building foundations, but are also subject to assessment by the Excavation Director to determine its classification

4. Types of unexpected heritage items and corresponding statutory protections

The roles of project, field and environmental personnel (including construction contractors) are critical to the early identification and protection of unexpected heritage items.

Appendix 1 illustrates the wide range of heritage discoveries found on Sydney Metro projects and provides a useful photographic guide. Subsequent to confirmation of a heritage discovery it must then be identified and assessed by Excavation Director. An ‘unexpected heritage item’ means any unanticipated discovery of an actual or potential heritage item, for which Sydney Metro does not have approval to disturb2

and/or have an existing management process in place.

These discoveries are categorised as either:

(a) Aboriginal objects

(b) Historic (non-Aboriginal) heritage items

(c) Human skeletal remains.

The relevant legislation that applies to each of these categories is described below and is also addressed in the Sydney Metro Exhumation Management Plan).

4.1. Aboriginal objects

The NPW Act protects Aboriginal objects which are defined as:

2 Disturbance is considered to be any physical interference with the item that results in it being destroyed,

defaced, damaged, harmed, impacted or altered in any way (this includes archaeological investigation activities).

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“any deposit, object or material evidence (not being a handicraft made for sale) relating to the Aboriginal habitation of the area that comprises New South Wales, being habitation before or concurrent with (or both) the occupation of that area by persons of non-Aboriginal extraction, and includes Aboriginal remains”3.

Examples of Aboriginal objects include stone tool artefacts, shell middens, axe grinding grooves, pigment or engraved rock art, burials and scarred trees.

IMPORTANT!

All Aboriginal objects, regardless of significance, are protected under law.

If any impact is expected to an Aboriginal object, an AHIP is usually required from OEH Also, when a person becomes aware of an Aboriginal object they must notify the Director-General of OEH about its location4. Assistance on how to do this is provided in Section 7 (Step 5).

4.2. Historic heritage items

Historic (non-Aboriginal) heritage items may include:

Archaeological ‘relics’

Other historic items (i.e. works, structures, buildings or movable objects).

4.2.1. Archaeological relics

The Heritage Act protects relics which are defined as: “any deposit, artefact, object or material evidence that relates to the settlement of the area that comprises NSW, not being Aboriginal settlement; and is of State or local heritage significance”5.

Relics are archaeological items of local or state significance which may relate to past domestic, industrial or agricultural activities in NSW, and can include bottles, remnants of clothing, pottery, building materials and general refuse.

IMPORTANT!

All relics are subject to statutory controls and protections.

If a relic is likely to be disturbed, a heritage approval is usually required from the NSW Heritage Council6. Also, when a person discovers a relic they must notify the NSW Heritage Council of its location7.

4.2.2. Other historic items

Some historic heritage items are not considered to be ‘relics’, but are instead referred to as works, buildings, structures or movable objects. Examples of these items that may be encountered include culverts, historic pavements, retaining walls, tramlines, rail tracks, timber sleepers, cisterns, fences, sheds, buildings and conduits. Although an approval under the Heritage Act may not be required to disturb these items, their discovery must be managed in accordance with this procedure.

3 Section 5(1) NPW Act.

4 This is required under section 89(A) of the NPW Act and applies to all Sydney Metro projects.

5 Section 4(1) Heritage Act.

7 This is required under section 146 of the Heritage Act and applies to all Sydney Metro projects.

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As a general rule, an archaeological relic requires discovery or examination through the act of excavation. For an unexpected find an archaeological excavation permit under section 140 of the Heritage Act may be required to do this. In contrast, ‘other historic items’ either exist above the ground surface (e.g. a shed), or they are designed to operate and exist beneath the ground surface (e.g. a culvert).

4.3. Human skeletal remains

Also refer to Sydney Metro Exhumation Management Plan for a more detailed explanation of the approval processes.

Human skeletal remains can be identified as either an Aboriginal object or non-Aboriginal relic depending on ancestry of the individual (Aboriginal or non-Aboriginal) and burial context (archaeological or non-archaeological). Remains are considered to be archaeological when the time elapsed since death is suspected of being 100 years or more. Depending on ancestry and context, different legislation applies.

As a simple example, a pre-European settlement archaeological Aboriginal burial would be protected under the NPW Act, while a historic (non-Aboriginal) archaeological burial within a cemetery would be protected under the Heritage Act. For a non-Aboriginal archaeological burial, the relevant heritage approval and notification requirement described in Section 3.1 would apply. In addition to the NPW Act, finding Aboriginal human remains also triggers notification requirements to the Commonwealth Minister for the Environment under section 20(1) of the Aboriginal and Torres Strait Islander Heritage Protection Act 1984 (Commonwealth).

IMPORTANT!

All human skeletal remains are subject to statutory controls and protections.

All bones must be treated as potential human skeletal remains and work around them must stop while they are protected and investigated urgently.

However, where it is suspected that less than 100 years has elapsed since death, the human skeletal remains come under the jurisdiction of the State Coroner and the Coroners Act 2009 (NSW). Such a case would be considered a ‘reportable death’ and under legal notification obligations set out in section 35(2); a person must report the death to a police officer, a coroner or an assistant coroner as soon as possible. This applies to all human remains less than 100 years old8 regardless of ancestry (i.e. both Aboriginal and non-Aboriginal remains). Public health controls may also apply.

Guidance on what to do when suspected human remains are found is provided in Appendix 5.

5. Legislative Requirements

Table 1 identifies some of the relevant legislation/regulations for the protection of heritage and the management of unexpected heritage finds in NSW. It should be noted that significant 8 Under section 19 of the Coroners Act 2009, the coroner has no jurisdiction to conduct an inquest into reportable

death unless it appears to the coroner that (or that there is reasonable cause to suspect that) the death or suspected death occurred within the last 100 years.

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penalties exist for breaches of the listed legislation as a result of actions that relate to unauthorised impacts on heritage items. Further, it is noted that heritage that has been assessed and is being managed in accordance with relevant statutory approvals(s) is exempt from these offences.

To avoid breaches of legislation, it is important that Sydney Metro and its contractors are aware of their statutory obligations under relevant legislation and that appropriate control measures are in place to ensure that unexpected heritage items are appropriately managed during construction. Contractors/Alliances will need to ensure that they undertake their own due diligence to identify any other legislative requirements that may apply for a given project.

Table 1 Legislation and guidelines for management of unexpected heritage finds

Relevant Requirement Objectives and offences

Environmental Planning and Assessment Act 1979 (EP&A Act)

Section 115ZB Giving of approval by Minister to carry out a project.

Environmental Planning and Assessment Act 1979 (EP&A Act)

Requires heritage to be considered within the environmental impact assessment of projects.

This guideline is based on the premise that an appropriate level of Aboriginal and non-Aboriginal cultural heritage assessment and investigations and mitigation have already been undertaken under the relevant legislation, including the EP&A Act, during the assessment and determination process. It also assumes that appropriate mitigation measures have been included in the conditions of any approval.

Heritage Act 1977 (Heritage Act)

The Heritage Act provides for the care, protection and management of heritage items in NSW.

Under section 139, it is an offence to disturb or excavate any land knowing or having reasonable cause to suspect that the disturbance or excavation will or is likely to result in a relic being discovered, exposed, moved, damaged or destroyed, unless the disturbance or excavation is carried out in accordance with an excavation permit issued by the Heritage Division of the OEH.

Under the Act, a relic is defined as: ‘any deposit, artefact, object or material evidence that: (a) relates to the settlement of the area that comprises New South Wales, not being Aboriginal settlement, and (b) is of State or local heritage significance.’

A person must notify the Heritage Division of OEH, if a person is aware or believes that they have discovered or located a relic (section 146). Penalties for offences under the Heritage Act can include six months imprisonment and/or a fine of up to $1.1million.

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Relevant Requirement Objectives and offences

National Parks and Wildlife Act 1974 (NPW Act)

The NPW Act provides the basis for the care, protection and management of Aboriginal objects and places in NSW.

An Aboriginal object is defined as: ‘any deposit, object or material evidence (not being a handicraft made for sale) relating to the Aboriginal habitation of the area that comprises New South Wales, being habitation before or concurrent with (or both) the occupation of that area by persons of non-Aboriginal extraction, and includes Aboriginal remains’.

An ‘Aboriginal place’ is an area declared by the Minister administering the Act to be of special significance with respect to Aboriginal culture. An Aboriginal place does not have to contain physical evidence of occupation (such as Aboriginal objects).

Under section 87 of the Act, it is an offence to harm or desecrate an Aboriginal object or place. There are strict liability offences. An offence cannot be upheld where the harm or desecration was authorised by an AHIP and the permit’s conditions were not contravened. Defences and exemptions to the offence of harming an Aboriginal object or Aboriginal place are provided in section 87, 87A and 87B of the Act.

A person must notify OEH if a person is aware of the location of an Aboriginal object.

Penalties for some of the offences can include two years imprisonment and/or up to $550,000 (for individuals), and a maximum penalty of $1.1 million (for corporations).

6. Unexpected heritage finds protocol

6.1. What is an unexpected heritage find?

An ‘unexpected heritage find’ can be defined as any unanticipated archaeological discovery that has not been identified during a previous assessment or is not covered by an existing permit under the Heritage Act. The find may have potential cultural heritage value, which may require some type of statutory cultural heritage permit or notification if any interference of the heritage item is proposed or anticipated.

The range of potential archaeological discoveries can include but are not limited to:

remains of rail infrastructure including buildings, footings, stations, signal boxes, rail lines, bridges and culverts

remains of other infrastructure including sandstone or brick buildings, wells, cisterns, drainage services, conduits, old kerbing and pavement, former road surfaces, timber and stone culverts, bridge footings and retaining walls

artefact scatters including clustering of broken and complete bottles, glass, ceramics, animal bones and clay pipes

Archaeological human skeletal remains.

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6.2. Managing unexpected heritage finds

In the event that an unexpected heritage find (the find) is encountered on a Sydney Metro site, the flowchart in Figure 1 must be followed. There are eight steps in the procedure. These steps are summarised in Figure 1 and explained in detail in Table 2.

Figure 1 Overview of steps to be undertaken on the discovery of an unexpected heritage item

IMPORTANT!

Sydney Metro may have approval to impact on certain heritage items during construction. If you think that you may have discovered a heritage item and you are unsure whether an approval is in place or not, STOP works and follow this procedure.

Table 2 Specific tasks to be implemented following the discovery of an unexpected heritage item

Step Task Responsibility Guidance and tools

1 Stop work, protect item and inform the

Excavation Director

1.1 Stop all work in the immediate area of the item and notify the Project Manager

Contractor/ Supervisor

Appendix 1

(Identifying Unexpected Heritage items)

1.2 Establish a ‘no-go zone’ around the item. Use high visibility fencing, where practical. No work is to be undertaken within this zone until further investigations are completed and, if required, appropriate approvals are obtained.

Inform all site personnel about the no-go zone.

Project Manager/ Contractor/ Supervisor

1.3 Inspect, document and photograph the item. Archaeologist and or Excavation Director

Appendix 2

(Unexpected Heritage Item Recording Form)

Appendix 3

(Photographing Unexpected Heritage items)

1.4 Is the item likely to be bone?

If yes, follow the steps in Appendix 4 – ‘Uncovering bones’. Where it is obvious that the bones are human remains, you must notify the local police by telephone immediately. They may take command of all or part of the site. Also refer to the Sydney Metro Exhumation Management Plan

If no, proceed to next step.

Excavation Director

Appendix 4

(Uncovering Bones)

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1.5 Inform the Excavation Director of the item and provide as much information as possible, including photos and completed form (Appendix 2).

Where the project has a Sydney Metro Environmental Manager, the Environmental Manager should be involved in the tasks/process.

Contractors Project Manager

1.6 Can the works avoid further disturbance to the item? Project Manager to confirm with Sydney Metros Environment Manager.

Complete the remaining tasks in Step 1.


1.7 Excavation Director and Sydney Metro Environmental Manager to advise the Project Manager whether Sydney Metro has approval to impact on the ‘item’.

Does Sydney Metro have an approval or permit to impact on the item?

If yes, work may recommence in accordance with that approval or permit. There is no further requirement to follow this procedure.

If no, continue to next step.


1.8 Has the ‘find’ been damaged or harmed?

If yes, record the incident in the Incident Management System Implement any additional reporting requirements related to the planning approval and CEMP, where relevant.

Contractors Project Manager, Excavation Director

2 Contact and engage an archaeologist and/or an Aboriginal heritage consultant

2.1 If an archaeologist and/or Aboriginal heritage consultant has been previously appointed for the project, contact them to discuss the location and extent of the item and arrange a site inspection, if required. The project CEMP may contain contact details of the archaeologist/Aboriginal heritage consultant.

Where there is no project archaeologist engaged for the works engage a suitably qualified consultant to assess the find:

if the find is a non-Aboriginal deposit, engage a suitably qualified and experienced archaeological consultant

if the find is likely to be an Aboriginal object, engage an Aboriginal heritage consultant to assess the find.


2.2 If requested, provide photographs of the item taken during Step 1.3 to the archaeologist or Aboriginal heritage consultant.


Appendix 3

(Photographing Unexpected Heritage items)

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3 Preliminary assessment and recording of the find

3.1 In a minority of cases, the archaeologist/Aboriginal heritage consultant may determine from the photographs that no site inspection is required because no heritage constraint exists for the project (e.g. the item is not a ‘relic’, a ‘heritage item’ or an ‘Aboriginal object’). Any such advice should be provided in writing (e.g. via email or letter with the consultant’s name and company details clearly identifiable) to the Sydney Metro Project Manager.

Archaeologist/ Aboriginal heritage consultant/ , Excavation Director

Proceed to Step 8

3.2 Arrange site access for the archaeologist/Aboriginal heritage consultant to inspect the item as soon as practicable. In the majority of cases a site inspection is required to conduct a preliminary assessment.


3.3 Subject to the archaeologist/Aboriginal heritage consultant’s assessment, work may recommence at a set distance from the item. This is to protect any other archaeological material that may exist in the vicinity, which may have not yet been uncovered. Existing protective fencing established in Step 1.2 may need to be adjusted to reflect the extent of the newly assessed protective area. No works are to take place within this area once established.

Archaeologist/ Aboriginal heritage consultant Contractors Project Manager, Excavation Director

3.4 The archaeologist/Aboriginal heritage consultant may provide advice after the site inspection and preliminary assessment that no heritage constraint exists for the project (e.g. the item is not a ‘relic’ or a ‘heritage item’ or an ‘aboriginal item’. Any such advice should be provided in writing (e.g. via email or letter with the consultant’s name and company details clearly identifiable) to the Metro Project Manager.

Note that :

a relic is evidence of past human activity which has local or State heritage significance. It may include items such as bottles, utensils, remnants of clothing, crockery, personal effects, tools, machinery and domestic or industrial refuse

an Aboriginal object may include a shell midden, stone tools, bones, rock art or a scarred tree

a “work”, building or standing structure may include tram or train tracks, kerbing, historic road pavement, fences, sheds or building foundations.

Archaeologist/ Aboriginal heritage consultant/ Contractors Project Manager, Excavation Director

Proceed to Step 8

Refer to Appendix 1

(Identifying heritage items)

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3.5 Where required, seek additional specialist technical advice (such as a forensic or physical anthropologist to identify skeletal remains). The archaeologist/Aboriginal heritage consultant can provide contacts for such specialist consultants.

Excavation Director Archaeologist

3.6 Where the item has been identified as a ‘relic’ or ‘heritage item’ or an ‘Aboriginal object’ the archaeologist should formally record the item.

Archaeologist/ Aboriginal heritage consultant

3.7 OEH (Heritage Division for non-Aboriginal relics and Planning and Aboriginal Heritage Section for Aboriginal objects) can be notified informally by telephone at this stage by the Sydney Metro Environmental Manager Any verbal conversations with regulators must be noted on the project file for future reference.


4 Section 4 not used

5 Notify the regulator, if required.

5.1 Based on the findings of the archaeological or heritage management plan and corresponding legislative requirements, is the find required to be notified to OEH and the Secretary?

If no, proceed directly to Step 6

If yes, proceed to next step.

Sydney Metro Environmental Manager Excavation Director

5.2 If notification is required, complete the template notification letter, including the archaeological/heritage management plan and other relevant supporting information and forward to the Sydney Metro Principal Manager Sustainability Environment and Planning (Program) for signature.

Sydney Metro Environmental Manager Excavation Director

Appendix 6

(Template Notification Letter)

5.3 Forward the signed notification letter to OEH and the Secretary.

Informal notification (via a phone call or email) to OEH prior to sending the letter is appropriate. The archaeological or heritage management plan and the completed site recording form (Appendix 2) must be submitted with the notification letter (for both Aboriginal objects and non-Aboriginal relics).

For Part 5.1 projects, the Department of Planning and Environment must also be notified.

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5.4 A copy of the final signed notification letter, archaeological or heritage management plan and the site recording form is to be kept on file and a copy sent to the Sydney Metro Project Manager.


6 Implement archaeological or heritage management plan

6.1 Modify the archaeological or heritage management plan to take into account any additional advice resulting from notification and discussions with OEH.


6.2 Implement the archaeological or heritage management plan. Where impact is expected, this may include a formal assessment of significance and heritage impact assessment, preparation of excavation or recording methodologies, consultation with Registered Aboriginal Parties, obtaining heritage approvals etc., if required.


6.3 Where heritage approval is required contact the Sydney Metro Environment Manager for further advice and support material. Please note there are time constraints associated with heritage approval preparation and processing.


6.4 Assess whether heritage impact is consistent with the project approval or if project approval modification is required from the Department of Planning and Environment.

, Excavation Director/Sydney Metro Environmental Manager

6.5 Where statutory approvals (or project approval modification) are required, impact upon relics and/or Aboriginal objects must not occur until heritage approvals are issued by the appropriate regulator.


6.6 Where statutory approval is not required but where recording is recommended by the archaeologist/Aboriginal heritage consultant, sufficient time must be allowed for this to occur.


6.7 Ensure short term and permanent storage locations are identified for archaeological material or other heritage material removed from site, where required. Interested third parties (e.g. museums, local Aboriginal land councils, or local councils) should be consulted on this issue. Contact the archaeologist or Aboriginal heritage consultant for advice on this matter, if required.


7 Section 7 Not Used

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8 Resume work

8.1 Seek written clearance to resume project work from the project Excavation Director/Archaeologist/Aboriginal heritage consultant. Clearance would only be given once all archaeological excavation and/or heritage recommendations and approvals (where required) are complete. Resumption of project work must be in accordance with the all relevant project/heritage approvals/determinations.


8.2 If required, ensure archaeological excavation/heritage reporting and other heritage approval conditions are completed in the required timeframes. This includes artefact retention repositories, conservation and/or disposal strategies.


8.3 Deleted

8.4 If additional unexpected items are discovered this procedure must begin again from Step 1.

All

7. Responsibilities

Table 3 Roles and Responsibilities

Role Responsibility or role under this guideline

Contractor / Supervisor Stop work immediately when an unexpected heritage find is encountered. Cordon off area until Environmental Manager /Excavation Director advises that work can recommence.

Contractor or Environment Manager

Manage the process of identifying, protecting and mitigating impacts on the ‘find’.

Liaise with Sydney Metro Project Manager and Environment Manager and assist the archaeologist/Aboriginal heritage consultant with mitigation and regulatory requirements.

Complete Incident Report and review CEMP for any changes required. Propose amendments to the CEMP if any changes are required.

Contractor’s or Project Heritage Advisor or Consultant

Provide expert advice to the Sydney Metro Environment Manager on ‘find’ identification, significance, mitigation, legislative procedures and regulatory requirements.

Environmental Representative

Independent environmental advisor engaged by Sydney Metro

Ensures compliance with relevant approvals (new and existing).

Heritage Division of OEH Regulate the care, protection and management of relics (non-Aboriginal heritage).

Delegated authority for Heritage Council

Issue excavation permits.

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Role Responsibility or role under this guideline

Registered Aboriginal Parties (RAPs)

Aboriginal people who have registered with Sydney Metro to be consulted about a proposed project or activity in accordance with the OEH Aboriginal Cultural Heritage Consultation Requirements for Proponents 2010.

Sydney Metro Environment Manager

Notify the Sydney Metro Principal Manager, Environmental Management of ‘find’ and manage Incident Reporting once completed by Environmental Manager.


Ensures all aspects of this procedure are implemented. Advise Contractor / Supervisor to recommence work if all applicable requirements have been satisfied and the Excavation Director /Project Archaeologist has approved recommend of work.

8. Seeking Advice

Advice on this procedure should be sought from the Sydney Metro Environment a Manager in the first instance. Contractors and alliance partners should ensure their own project environment managers are aware of and understand this procedure. Technical archaeological or heritage advice regarding an unexpected heritage item should be sought from a suitably qualified and experienced archaeologist/Aboriginal heritage consultant.

9. Related documents and references

Environmental Incident Classification and Reporting – 9TP-PR-105

Guide to Environmental Control Map – 3TP-SD-015

NSW Heritage Office (1998), Skeletal remains: guidelines for the management of human skeletal remains.

Roads and Maritime Services (2015), Standard Management Procedure Unexpected Heritage Items.

Department of Environment and Conservation NSW (2006), Manual for the identification of Aboriginal remains.

Sydney Metro Exhumation Management Plan

10. List of appendices

The following appendices are included to support this procedure:

Appendix 1: Examples of finds encountered during construction works

Appendix 2: Unexpected Heritage Item Recording Form

Appendix 3: Photographing Unexpected Heritage Items

Appendix 4: Uncovering Bones

Appendix 5: Archaeological Advice Checklist

Appendix 6: Template Notification Letter

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11. Document history

Version Date of approval Notes

1.1 Incorporates ER comments 21/06/17

1.2 Amends p13 step 8 reference to s146 added

1.3 Incorporates Planning Mods 1-4 including amended CoA E20

1.4 Incorporates ER comments 21/03/18

2.0 Removes SSI 15-7400 COA reference

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Appendix 1: Examples of finds encountered during construction works

Photo 1 - Aboriginal artefacts found at the Wickham Transport Interchange, 2015

Photo 2 – Aboriginal artefacts (shell material) found at the Wickham Transport Interchange, 2015

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Photo 3 1840s seawall and 1880s retaining wall uncovered at Balmain East, 2016

Photo 4 Sandstone pavers uncovered at Balmain East, 2016

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Photo 5 - Platform structure at Hamilton Railway Station classified as a ‘work’ by the project archaeologist - Wickham Transport Interchange project, 2015

Photo 6 - Platform structure at Hamilton Railway Station classified as a ‘work’ by the project archaeologist - Wickham Transport Interchange project, 2015

Photo 7 - Sandstone flagging and cesspit - Wynyard Walk project, 2014

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Photo 8 - Chinese Ming Dynasty pottery and English porcelain/pottery dating back to early 19th century -Wynyard Walk project, 2014

Photo 9 - Pottery made by convict potter Thomas Ball during the early settlement - Wynyard Walk project, 2014

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The following images, obtained from the Roads and Maritime Services’ Standard Management Procedure for Unexpected Heritage items 2015, can be used to assist in the preliminary identification of potential unexpected items during construction and maintenance works.

Photo 10 - Top left hand picture continuing clockwise: Stock camp remnants (Hume Highway Bypass at Tarcutta); Linear archaeological feature with post holes (Hume Highway Duplication), Animal bones (Hume Highway Bypass at Woomargama); Cut wooden stake; Glass jars, bottles, spoon and fork recovered from refuse pit associated with a Newcastle Hotel (Pacific Highway, Adamstown Heights, Newcastle area) (RMS, 2015).

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Photo 11 - Top left hand picture continuing clockwise: Stock camp remnants (Hume Highway Bypass at

Tarcutta); Linear archaeological feature with post holes (Hume Highway Duplication), Animal bones

(Hume Highway Bypass at Woomargama); Cut wooden stake; Glass jars, bottles, spoon and fork

recovered from refuse pit associated with a Newcastle Hotel (Pacific Highway, Adamstown Heights,

Newcastle area) (RMS, 2015).

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Appendix 2 - Unexpected heritage item recording form

Example of unexpected heritage item recording form:

This form is to be completed Excavation Director on the discovery of an archaeological heritage item during construction or maintenance works

Date: Recorded by:

(include name and position)

Project name:

Description of works

being undertaken:

Description of exact

location of item

Description of item

found

(What type of item is it likely

to be? Tick the relevant

boxes).

A. A relic A ‘relic’ is evidence of a past human activity

relating to the settlement of NSW with local

or state heritage significance. A relic might

include bottle, utensils, plates, cups,

household items, tools, implements, and

similar items

B. A ‘work’, building or

structure’ A ‘work’ can generally be defined as a form

infrastructure such as track or rail tracks,

timber sleepers, a culvert, road base, a

bridge pier, kerbing, and similar items

C. An Aboriginal object An ‘Aboriginal object’ may include stone

tools, stone flakes, shell middens, rock art,

scarred trees and human bones

D. Bone Bones can either be human or animal

remains.

Remember that you must contact the local

police immediately by telephone if you are

certain that the bone(s) are human

remains.

E. Other

Provide a short

description of the item

(E.g. metal rail tracks

running parallel to the rail

corridor. Good condition.

Tracks set in concrete,

approximately 10 cm below

the current ground surface).

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Sketch

(Provide a sketch of the

item’s general location in

relation to other road

features so its approximate

location can be mapped

without having to re-

excavate it. In addition,

please include details of the

location and direction of any

photographs of the item

taken)

Action taken (Tick either

A or B)

A. Unexpected item

would not be further

impacts on by the

works

Describe how works would avoid impact

on the item. (E.g. the rail tracks would be left in

situ and recovered with paving).

B. Unexpected item

would be further

impacted by the works

Describe how works would impact on the

item. (E.g. milling is required to be continued to a

depth of 200 mm depth to ensure the pavement

requirements are met. Rail tracks would need to

be removed.)

Excavation Director

Signature

Signature

Important

It is a statutory offence to disturb Aboriginal objects and historic relics (including human

remains) without an approval. All works affecting objects and relics must cease until an

approval is sought.

Approvals may also be required to impact on certain works.

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Appendix 3 - Photographing unexpected heritage items

Photographs of unexpected items in their current context (in situ) may assist archaeologists/Aboriginal heritage consultants to better identify the heritage values of the item. Emailing good quality photographs to specialists can allow for better quality and faster heritage advice. The key elements that must be captured in photographs of the item include its position, the item itself and any distinguishing features. All photographs must have a scale (ruler, scale bar, mobile phone, coin etc.) and a note describing the direction of the photograph.

Context and detailed photographs

It is important to take a general photograph (Figure 1) to convey the location and setting of the item. This will add value to the subsequent detailed photographs also required (Figure 2).

Removal of the item from its context (e.g. excavating from the ground) for photographic purposes is not permitted.

Figure 1: Telford road uncovered on the Great Western Highway (Leura) in 2008 (RMS, 2015).

Photographing distinguishing features

Where unexpected items have a distinguishing feature, close up detailed photographs must be taken of these features, where practicable. In the case of a building or bridge, this may include diagnostic details architectural or technical features. See Figures 3 and 4 for examples.

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Photographing bones

The majority of bones found on site will those of be recently deceased animal bones often requiring no further assessment (unless they are in archaeological context). However, if bones are human, the police must be contacted immediately (see Appendix 6 for detailed guidance). Taking quality photographs of the bones can often resolve this issue quickly. The project archaeologist can confirm if bones are human or non-human if provided with appropriate photographs.

Ensure that photographs of bones are not concealed by foliage (Figure 5) as this makes it difficult to identify. Minor hand removal of foliage can be undertaken as long as disturbance of the bone does not occur. Excavation of the ground to remove bone(s) should not occur, nor should they be pulled out of the ground if partially exposed.

Where sediment (adhering to a bone found on the ground surface) conceals portions of a bone (Figure 6) ensure the photograph is taken of the bone (if any) that is not concealed by sediment.

Ensure that all close up photographs include the whole bone and then specific details of the bone (especially the ends of long bones, the epiphysis, which is critical for species identification). Figures 7 and 8 are examples of good photographs of bones that can easily

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be identified from the photograph alone. They show sufficient detail of the complete bone and the epiphysis.

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Appendix 4 - Uncovering bones

This appendix provides advice regarding:

what to do on first discovering bones

the range of human skeletal notification pathways

additional considerations and requirements when managing the discovery of human remains.

1. First uncovering bones

Refer to the Sydney Metro Exhumation Management Plan

Stop all work in the vicinity of the find. All bones uncovered during project works should be treated with care and urgency as they have the potential to be human remains. The bones must be identified as either human or non-human as soon as possible by a qualified forensic or physical anthropologist.

On the very rare occasion where it is immediately obvious from the remains that they are human, the Project Manager (or a delegate) should inform the police by telephone prior to seeking specialist advice. It will be obvious that it is human skeletal remains where there is no doubt, as demonstrated by the example in Figure 19. Often skeletal elements in isolation (such as a skull) can also clearly be identified as human. Note it may also be obvious that human remains have been uncovered when soft tissue and/or clothing are present.

9 After Department of Environment and Conservation NSW (2006), Manual for the identification of Aboriginal

Remains: 17

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This preliminary phone call is to let the police know that a specialist skeletal assessment to determine the approximate date of death which will inform legal jurisdiction. The police may wish to take control of the site at this stage. If not, a forensic or physical anthropologist must be requested to make an on-site assessment of the skeletal remains.

Where it is not immediately obvious that the bones are human (in the majority of cases, illustrated by Figure 2), specialist assessment is required to establish the species of the bones. Photographs of the bones can assist this assessment if they are clear and taken in accordance with guidance provided in Appendix 3. Good photographs often result in the bones being identified by a specialist without requiring a site visit; noting they are nearly always non-human. In these cases, non-human skeletal remains must be treated like any other unexpected archaeological find.

If the bones are identified as human (either by photographs or an on-site inspection) a technical specialist must determine the likely ancestry (Aboriginal or non-Aboriginal) and burial context (archaeological or forensic). This assessment is required to identify the legal regulator of the human remains so urgent notification (as below) can occur.

Preliminary telephone or verbal notification by the archaeologist to the Sydney Metro Principal Manager Sustainability Environment and Planning (Program) is appropriate. This must be followed up later by a formal letter notification to the relevant regulator when a management plan has been developed and agreed to by the relevant parties.

2. Range of human skeletal notification pathways

The following is a summary of the different notification pathways required for human skeletal remains depending on the preliminary skeletal assessment of ancestry and burial context.

A. Human bones are from a recently deceased person (less than 100 years old).

Action

A police officer must be notified immediately as per the obligations to report a death or suspected death under s35 of the Coroners Act 2009 (NSW). It should be assumed the police will then take command of the site until otherwise directed.

B. Human bones are archaeological in nature (more than 100 years old) and are likely to be Aboriginal remains.

Action

The OEH (Planning and Aboriginal Heritage Section) must be notified immediately. The Aboriginal Cultural Heritage Advisor must contact and inform the relevant Aboriginal community stakeholders who may request to be present on site.

C. Human bones are archaeological in nature (more than 100 years old) and likely to be non-Aboriginal remains.

Action The OEH (Heritage Division) must be notified immediately

Figure 3 summarises the notification pathways on finding bones.

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Figure 3 Overview of steps to be undertaken on the discovery of bones

After the appropriate verbal notifications (as described in 2B and 2C above), the Project Manager must proceed through the Unexpected Heritage Items Exhumation Management Plan (Step 4). It is noted that no Exhumation Management Plan is required for forensic cases (2A), as all future management is a police matter. Non-human skeletal remains must be treated like any other unexpected archaeological find and so must proceed to record the find as per Step 3.6.

3. Additional considerations and requirements

Uncovering archaeological human remains must be managed intensively and needs to consider a number of additional specific issues. These issues might include facilitating culturally appropriate processes when dealing with Aboriginal remains (such as repatriation and cultural ceremonies). Project Managers may need to consider overnight site security of any exposed remains and may need to manage the onsite attendance of a number of different external stakeholders during assessment and/or investigation of remains.

Project Managers may also be advised to liaise with local church/religious groups and the media to manage community issues arising from the find. Additional investigations may be required to identify living descendants, particularly if the remains are to be removed and relocated.

If exhumation of the remains (from a formal burial or a vault) is required, Project Managers should also be aware of additional approval requirements under the Public Health Act 1991 (NSW). Specifically, Sydney Metro may be required to apply to the Director General of NSW

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Department of Health for approval to exhume human remains as per Clause 26 of the Public Health (Disposal of Bodies) Regulation 2002 (NSW)10.

Further, the exhumation of such remains needs to consider health risks such as infectious disease control, exhumation procedures and reburial approval and registration. Further guidance on this matter can be found at the NSW Department of Health website.

In addition, due to the potential significant statutory and common law controls and prohibitions associated with interfering with a public cemetery, project teams are advised, when works uncover human remains adjacent to cemeteries, to confirm the cemetery’s exact boundaries.

10

This requirement is in addition to heritage approvals under the Heritage Act 1977.

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Appendix 5 - Archaeological/heritage advice checklist

The archaeologist/Aboriginal heritage consultant must advise the Sydney Metro Principal Manager Sustainability Environment and Planning (Program) of an appropriate archaeological or heritage management plan as soon as possible after an inspection of the site has been completed (see Step 4). An archaeological or heritage management plan can include a range of activities and processes, which differ depending on the find and its significance.

In discussions with the archaeologist/Aboriginal heritage consultant the following checklist can be used as a prompt to ensure all relevant heritage issues are considered when developing this plan. This will allow the project team to receive clear and full advice to move forward quickly. Archaeological and/or heritage advice on how to proceed can be received in a letter or email outlining all relevant archaeological and/or heritage issues.

Required Outcome/notes

Assessment and investigation

Assessment of significance Yes/No

Assessment of heritage impact Yes/No

Archaeological excavation Yes/No

Archival photographic recording Yes/No

Heritage approvals and notifications

AHIP, section 140, section 139 exceptions etc.

Yes/No

Regulator relics/objects notification Yes/No

Notification to Sydney Trains for s170 heritage conservation register

Yes/No

Compliance with CEMP or other project heritage approvals

Yes/No

Stakeholder consultation

Aboriginal stakeholder consultation Yes/No

Artefact/heritage item management

Retention or conservation strategy (e.g. items may be subject to long conservation and interpretation)

Yes/No

Disposal strategy Yes/No

Short term and permanent storage locations (interested third parties should be consulted on this issue).

Yes/No

Control Agreement for Aboriginal objects Yes/No

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Appendix 6 - Template notification letter

Insert on TfNSW letterhead Select and type date]

[Select and type reference number] XXX

Manager, Conservation

Heritage Division, Office of Environment and Heritage

Locked Bag 5020

Parramatta NSW 2124

[Select and type salutation and name], Re: Unexpected heritage item discovered during Sydney Metro activities.

I write to inform you of an unexpected [select: relic, heritage item or Aboriginal object] found during Sydney Infrastructure and Services construction works at [insert location] on [insert date] in accordance with the notification requirement under select: section 146 of the Heritage Act 1977 (NSW). [Where the regulator has been informally notified at an earlier date by telephone, this should be referred to here].

NB: On finding Aboriginal human skeletal remains this letter must also be sent to the Commonwealth Minister for the Environment in accordance with notification requirements under section 20(1) of the Aboriginal and Torres Strait Islander Heritage Protection Act 1984 (Commonwealth).

[Provide a brief overview of the project background and project area. Provide a summary of the description and location of the item, including a map and image where possible. Also include how the project was assessed under the Environmental Planning and Assessment Act 1979 (NSW) (e.g. Part 5). Also include any project approval number, if available].

Sydney Metro [or contractor] has sought professional archaeological advice regarding the item. A preliminary assessment indicates [provide a summary description and likely significance of the item]. Please find additional information on the site recording form attached.

Based on the preliminary findings, Sydney Metro [or contractor] is proposing [provide a summary of the proposed archaeological/heritage approach (e.g. develop archaeological research design (where relevant), seek heritage approvals, undertake archaeological investigation or conservation/interpretation strategy). Also include preliminary justification of such heritage impact with regard to project design constraints and delivery program].

The proposed approach will be further developed in consultation with a nominated Office of Environment and Heritage staff member.

Should you have any feedback on the proposed approach, or if you require any further information, please do not hesitate to contact [Environment and Planning Project Manager] on (02) XXXX XXXX.

Yours sincerely

[Sender name]

Sydney Metro Principal Manager Sustainability Environment and Planning (Program) [Attach the archaeological/heritage management plan and site recording form]

sydney metro unexpected heritage finds procedure · 2019. 8. 1. · sydney metro unexpected...

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